 | 1943 - 1346 páginas
...every written communication, advertisement or radio broadcast prepared or authorized by the issuer, any person controlling, controlled by, or under common control with, the issuer, or any principal underwriter of the securities to be offered, which Is proposed to be used at the commencement... | |
 | 1997 - 734 páginas
...For the purposes of paragraph (d) of this section: (1) The term brokers' transactions in section 4(4) of the Act shall be deemed to include transactions by a broker acting as agent for the account of the seller where: (1) The broker performs no more than the usual and customary broker's functions,... | |
 | 1998 - 784 páginas
...For the purposes of paragraph (d) of this section: (1) The term brokers' transactions to section 4(4) , 1 Ց!7 y C\' E 2 ~ X dl i X q5 F f0 vU U vl 4 T 8 W <{ 9 C the seller where: (1) The broker performs no more than the usual and customary broker's func-tions,... | |
 | 1990 - 560 páginas
...the purposes of paragraph (d) of this section: (1) The term "brokers' transactions" in section 4(4) of the Act shall be deemed to include transactions by a broker acting as agent for the account of the seller where: (i) The broker performs no more than the usual and customary broker's functions,... | |
 | 1979 - 1804 páginas
...the purposes of paragraph (d) of this section: (1) The term "brokers' transactions" in section 4(4) of the Act shall be deemed to include transactions by a broker acting as agent for the account of the seller where (i) the broker performs no more than the usual and customary broker's functions, (ii)... | |
 | 1977 - 958 páginas
...purposes of paragrapn «u of this section: (1) The term "brokers' transactions In section 4(4) of toe Act shall be deemed to Include transactions by a broker actIng as agent for toe account of toe seller where (1) toe broker performs no more than toe usual and customary brokers... | |
 | United States. Congress. Economic Report Joint Committee - 1949 - 332 páginas
...political subdivision; (f) Any securities of an issuer so long as a registration statement of the issuer or of any person controlling, controlled by, or under common control with, the issuer is the subject of pending proceedings under Section 8 (b) or 8 (d) of the Act or of an order entered... | |
 | 1949 - 736 páginas
...subdivision: (f ) Any securities of an issuer so long as a registration statement of the issuer or of any person controlling, controlled by, or under common control with, the issuer is the subject of pending proceedings under section 8 (b) or 8 (d) of the act (48 Stat. 79; 15 USC... | |
 | 1950 - 260 páginas
...political subdivision; (f) Any securities of an issuer so long as a registration statement of the issuer or of any person controlling, controlled by, or under common control with, the issuer is the subject of pending proceedings under Section 8 (b) or 8 (d) of the Act or of an order entered... | |
 | United States. Securities and Exchange Commission - 1963 - 100 páginas
...For the purposes of paragraph (d) of this rule (1) The term "brokers' transactions" in section 4(2) of the Act shall be deemed to include transactions by a broker acting as agent for the account of the seller where (a) the broker performs no more than the usual and customary broker's functions, (b)... | |
| |
... the largest aggregate reported volume of trading on securities exchanges during any one week within the four calendar weeks preceding the receipt of such order. (e) For the purposes of paragraph (d) of this section : (1) The term "brokers 
